Arnie J. Di Cioccio
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arnie Joseph Di Cioccio, who also goes by A. J. Di Cioccio, was a registered financial professional .
Arnie is a previously registered financial professional and started their career in finance in 2000. Arnie had worked at 9 firms and has passed the Series 66, SIE, Series 3, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2022 - December 31, 2024
I3 INVESTMENT PARTNERS, LLC
July 11, 2021 - September 2, 2021
BRIDGEWAY WEALTH PARTNERS, LLC
October 10, 2017 - November 25, 2019
B. RILEY WEALTH ADVISORS, INC.
October 6, 2017 - November 25, 2019
NATIONAL SECURITIES CORPORATION
November 6, 2012 - November 3, 2017
CITIGROUP GLOBAL MARKETS INC.
November 6, 2012 - November 3, 2017
CITIGROUP GLOBAL MARKETS INC.
November 16, 2007 - July 26, 2012
J.P. MORGAN SECURITIES LLC
November 16, 2007 - July 26, 2012
J.P. MORGAN SECURITIES LLC
April 2, 2007 - November 19, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - November 19, 2007
MORGAN STANLEY & CO. LLC
September 25, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
February 27, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
June 15, 2000 - February 26, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2000 - October 4, 2000
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
I3 INVESTMENT PARTNERS, LLC
CRD#: 307104 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 73,000,000 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Withdrawn | 9/22/2021 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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